NATIONAL ORGANIC PROGRAM: CORRECTIVE ACTION REPORT

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2 1400 Independence Avenue, SW. Room 2646-S, STOP 0268 Washington, DC NATIONAL ORGANIC PROGRAM: CORRECTIVE ACTION REPORT AUDIT AND REVIEW PROCESS The National Organic Program (NOP) conducted a mid-term assessment of Pro-Cert Organic Systems, Ltd. An onsite audit was conducted, and the audit report reviewed to determine Pro- Cert s capability to continue operating as a USDA accredited certifier. GENERAL INFORMATION Applicant Name Pro-Cert Organic Systems, Ltd. (Pro-Cert) Physical Address 475 Valley Road, Saskatoon, Saskatchewan, S7K3J6, Canada Mailing Address Same Contact & Title J. Wallace Hamm, President Address Byron.Hamm@pro-cert.org Phone Number Janna Howley, NOP Reviewer Reviewer & Auditor Rick Skinner, On-site Auditor Program USDA National Organic Program (NOP) NOP assessment review: February 27, 2015 Review & Audit Dates Onsite audit: June 24-26, 2014 Audit Identifier NP4174EEA Action Required None Audit & Review Type Mid-Term Assessment To evaluate the conformance to the audit criteria; and to verify the Audit Objective implementation and effectiveness of Pro-Cert s certification system. Audit & Determination 7 CFR Part 205, National Organic Program as amended Criteria Pro-Cert s certification services in carrying out the audit criteria Audit & Review Scope during the period: September 5, 2012 through June 26, Pro-Cert Organic Systems, Ltd. (Pro-Cert) is a for-profit organization, initially accredited as a certifying agent as OCPP/Pro-Cert Canada, Inc. (OCPP) on May 24, 2002 to the USDA National Organic Program (NOP) for the scopes of crop, livestock, wild crop, and handling. In 2013, Pro- Cert had 159 clients certified to the NOP, including 122 crop, 97 livestock, 1 wild crop, and 35 handling operations. Pro-Cert no longer certifies grower groups under the NOP. Pro-Cert NOP clients are certified in the United States. Pro-Cert has two offices from which certification activities are conducted. The main office is in Saskatoon, Saskatchewan, and a subsidiary office is located in Cambray, Ontario. Pro-Cert staff consists of a General Manager, 2 Certification Managers, 2 Processor Certification Coordinators, NP4174EEA Pro-Cert CA Page 1 of 3

3 2 Producer Certification Coordinators, 13 Certification/Evaluation Committee members, and 8 staff and 6 contract inspectors. The Saskatoon office was the location of this assessment; however, certification files from both locations were assessed. NOP DETERMINATION: NOP reviewed the onsite audit results to determine whether Pro-Cert s corrective actions adequately addressed previous noncompliances. NOP also reviewed any corrective actions submitted as a result of noncompliances issued from Findings identified during the onsite audit. Non-compliances from Prior Assessments Any noncompliance labeled as Cleared, indicates that the corrective actions for the noncompliance are determined to be implemented and working effectively. Any noncompliance labeled as Outstanding indicates that either the auditor could not verify implementation of the corrective actions or that records reviewed and audit observations did not demonstrate compliance. NP2226OOA.NC1 Cleared NP2226OOA.NC2 Cleared Non-compliances Identified during the Current Assessment Any noncompliance labeled as Accepted, indicates that the corrective actions for the noncompliance are accepted by the NOP and will be verified for implementation and effectiveness during the next onsite audit. NP4174EEA.NC1 Accepted. 7 CFR (a)(21) states, A private or governmental entity accredited as a certifying agent under this subpart must: Comply with, implement, and carry out any other terms and conditions determined by the Administrator to be necessary. NOP (c)(2) states, The foreign government authority that accredited the foreign certifying agent acted under an equivalency agreement negotiated between the United States and the foreign government. NOP 2403 states, When exported to Japan and Taiwan, U.S Department of Agriculture (USDA) organic products must be accompanied by an organic export certificate (TM-11). The agreement requires the certifier to assign a unique identification number to each export certificate and for all export certificates that were issued under the Taiwan arrangement for processed products and crops have the required statement, Organic agricultural products and organic processed products, accompanied by this certificate, were produced or processed using zero prohibited substances. Comments: The review of two TM-11 documents issued in March 2013 did not contain the unique identifier for Pro-Cert Organic Systems Ltd (PRO) provided on the list of Certifying Agents Approved to Issue TM-11 Export Certificates under an Export Arrangement between the USDA and a Foreign Government. Additionally, the certificates did not contain the statement, Organic agricultural products and organic processed products, accompanied by this certificate, were produced or processed using zero prohibited substances. NP4174EEA Pro-Cert CA Page 2 of 3

4 Corrective Action: Pro-Cert developed a guidance document (Instruction: Use of Export Certificates (TM-11) Under Export Arrangements with the USDA NOP (Doc #1501)) that outlines the procedures for the completion of the Export Certificate Document. Pro-Cert distributed the document and conducted training with its staff in February Pro-Cert has now assigned responsibility for the completion of the certificates to the Certification Coordinators and their Administrative Assistants; a review of the certificates by the Certification Manager is required before final signature. Pro-Cert has also updated its electronic document control system, Pro-Cert System Documents, to include a file for International Trade Documents. This file includes additional sub-files for each foreign government that maintains an export arrangement with the USDA for organic produce and products. The Japan and Taiwan sub-files have been updated to include a revised Export Certificate template specific to the requirements of each export arrangement. The subfiles have also been updated to include copies of the new Instruction document (Doc #1501). Pro-Cert designated a format for certificate numbers issued to Export Certificates and included the required Certifier Code and Country Code on the templates for Japan and Taiwan. The templates for both Japan and Taiwan were also updated to include the language required by the TM-11 documents. Pro-Cert provided copies of the updated documents to the NOP. NP4174EEA Pro-Cert CA Page 3 of 3

5 1400 Independence Avenue, SW. Room 2646-S, STOP 0268 Washington, DC AUDIT INFORMATION Applicant Name: Pro-Cert Organic Systems, Ltd. Physical Address: 475 Valley Road, Saskatoon, Saskatchewan S7K3J6 Canada Mailing Address: Box 100A, RR #3 Saskatoon, Saskatchewan S7K3J6 Canada Contact & Title: J. Wallace Hamm, President Address: Phone Number: Auditor(s): Betsy Rakola Program: USDA National Organic Program (NOP) Audit Date(s): November 1 December 18, 2013 Audit Identifier: NP2226OOA Action Required: No Audit Type: Corrective action review To verify review and approve corrective actions addressing the noncompliances identified during the August 14-16, 2012 renewal assessment. Audit Objective: 7 CFR Part 205, National Organic Program; Final Rule, dated December 21, Audit Criteria: 2000; as amended. Pro-Cert s May 7 and December 13, 2013 response letter to the renewal Audit Scope: assessment non-compliance report. Location(s) Audited: Desk GENERAL INFORMATION Pro-Cert Organic Systems, Ltd. (Pro-Cert) is a for-profit organization. Pro-Cert was originally accredited as a certifying agent as OCPP/Pro-Cert Canada, Inc. (OCPP) on May 24, 2002 to the USDA National Organic Program (NOP) for crops, livestock, wild crop, and handling operations. Currently, Pro-Cert has 120 clients certified to the NOP that includes 106 crop, 88 livestock, 1 wild crop, and 14 handling operations. Pro-Cert also had one grower group; however during a review of the file it was determined that the operation did not meet the requirements of a grower group (see Findings). The Pro-Cert NOP clients are certified in the United States (CA, CO, IN, IA, ME, NY, OH, OR, PA, and VT). In addition to the USDA NOP, Pro-Cert is also accredited to the European Union Regulations (EC 834 /2007 and EC 889/2008), the Canadian Organic Standards, Quebec Organic Standards, and Japanese Agricultural Standards (JAS/MAFF). Pro-Cert also assists applicants in obtaining Bio-Suisse (Switzerland) certification and certification to the Brazil Regulations and Standards. AUDIT INFORMATION During the August 2012 renewal assessment, the corrective actions for the non-compliances identified during the mid-term assessment were found to be implemented and effective. Those non-compliances were cleared. This audit identified two noncompliances. The NOP notified Pro-Cert of these findings in writing on April 12, Pro-Cert submitted a response to the NP2226OOA Pro-Cert Page 1 of 3

6 NOP on May 7 and December 10, FINDINGS NP9104OOA.NC1 Cleared NP9104OOA.NC2 Cleared NP2226OOA.NC1 Accepted. NOP (b)(3) states, The certifying agent must issue a certificate of organic operation which specifies the: (3) Categories of organic operation, including crops, wild crops, livestock, or processed products produced by the certified operation. Certificates for 9 of the 10 certification files reviewed contained the type of products that were being certified but did not contain the correct categories of organic operation as defined in this section (crops, wild crops, livestock, or processed products). Pro-Cert corrective action: Pro-Cert submitted a revised certificate template, showing the category of certification. Pro-Cert also submitted two examples of certificates issued on March 31, Both certificates correctly classified the products produced under one of the 4 NOP certification categories. As evidence of preventive actions, Pro-Cert submitted two s from December 2012 and December 2013 instructing staff to use the new certificate template. The s identified the following four categories of certification for NOP certificates: crops, livestock, wild crops, and processed products. In 2014, Pro-Cert plans to implement electronic certificate software to further reduce certificate errors. NP2226OOA.NC2 Accepted. NOP (a)(21) states, A private or governmental entity accredited as a certifying agent under this subpart must: Comply with, implement, and carry out any other terms and conditions determined by the Administrator to be necessary. Review of 1 grower group file showed Pro-Cert is not in compliance with NOP Program Handbook Policy Memo (PM) 11-10, Certification of Grower Groups. Specifically, the evidence showed that the producers in the grower group were not operating under the guidance of the NOSB Recommendation 2002, Criteria for Certification of Grower Groups, Recommendation # 1: The NOSB recommends that, in order to be certified as a grower group, the following conditions must be met: 1) The crops and farming practices of the producers must be uniform and reflect a consistent process or methodology, using the same inputs. Review of the certification file showed 5 growers conducting a variety of production methods, such as dairy, beef cattle, laying hens, and crop and greenhouse production. It is unclear which producer is doing which activity; but it is clear that one, uniform OSP is not used. Pro-Cert management indicated that this operation was classified as a grower group because they used one singular marketing and distribution entity. Though this is a requirement of grower group certification; this type of certification begins with a uniform OSP for all producers. Pro-Cert corrective action: In August 2012, Pro-Cert contacted the head of the grower group to state that the NOSB s 2011 memo meant that they did not qualify as a grower group. Pro-Cert requested that each individual group member apply for certification. The responsible party submitted an application for individual certification, and the other four members applied to a different certifying agent. In May 2013, Pro-Cert sent a memo to its staff stating that grower groups must consist of uniform crops and farming practices, using the same inputs. The memo informed staff that all NOP grower group certification must follow the policies outlined in the NOSB policy. Pro-Cert no NP2226OOA Pro-Cert Page 2 of 3

7 longer has any NOP-certified grower groups. According to their policies, any future grower group applications must be evaluated by the certification manager. NP2226OOA Pro-Cert Page 3 of 3